VP, Brokerage & Advisory Operations

🕒 vor 5 Tagen

🇺🇸 Vereinigte Staaten – Remote

⏰ Vollzeit

🔴 Experte

⚙️ Operations

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Penn Mutual

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1001 - 5000 Mitarbeiter

Gegründet 1847

Seit über 175 Jahren unterstützt Penn Mutual Einzelpersonen, Familien und Unternehmen auf ihrem Weg, ihre finanziellen Ziele zu erreichen. Durch unsere Partnerschaft mit Finanzexperten in den gesamten USA helfen wir Generationen dabei, sich zu stärken, indem wir das Vertrauen und die Zuverlässigkeit vermitteln, die aus einer sicheren finanziellen Zukunft entstehen. Penn Mutual und seine Partner bieten eine umfassende Palette von wettbewerbsfähigen und robusten Lösungen, um den einzigartigen Bedürfnissen von Finanzexperten und ihren Kunden gerecht zu werden, einschließlich Lebensversicherungen, Rentenversicherungen, Vermögensverwaltung und institutionelles Asset-Management. Um mehr zu erfahren, einschließlich der aktuellen Finanzstärkenbewertungen, besuchen Sie www.pennmutual.com.

Beschreibung

• Own and accountable for all broker-dealer and RIA back-office operations: account onboarding, maintenance, new account review, trading support, cashiering, disbursements, ACATs/transfers, suitability, and field advisor support • Establish and enforce operational standards, SLAs, KPIs, and an operating cadence including capacity planning, escalation paths, and issue management • Build a professional, metrics-driven environment where performance expectations are clear and consistently managed • Oversee supervisory functions for new account review in partnership with the Compliance team, ensuring FINRA, SEC, and MSRB obligations are met • Provide regulatory and control oversight, ensuring compliance with FINRA, SEC, and MSRB; maintain strong procedures and readiness; lead exams and remediation efforts • Collaborate with vendors (e.g., Pershing, DTCC, etc.) to improve platforms, integrations, data quality, and operational resiliency • Conduct a rapid, comprehensive talent assessment of the inherited organization — evaluate who is in the right role and identify gaps • Develop, coach, and hold accountable a team of approximately 40 FTE and multiple direct-report people leaders • Build succession depth; foster a culture of accountability, continuous improvement, and client-first execution • Identify and close significant procedural and control gaps that currently exist in the organization • Design and implement scalable, repeatable processes appropriate for a regulated broker-dealer environment • Establish a quality framework and drive consistency across all operational functions • Lead regulatory exam readiness and remediation in coordination with Compliance and Risk • Lead the implementation of Docupace as the new account workflow, records (books and records), and straight-through processing tool • Own a multi-year transformation roadmap focused on automation, workflow digitization, and operational risk reduction • Collaborate with Technology and vendor partners (e.g., Pershing, DTCC, investment platforms) to improve integrations, data quality, and system performance • Leverage data and analytics to drive decision-making and surface operational risk proactively • Serve as a key member of the Operations Leadership Team; engage directly with the Head of Operations, CHRO, Compliance, Risk, and Technology • Translate complex operational issues into clear executive-level insights and recommendations • Build effective partnerships with advisors and field leadership to improve the advisor and client experience

🎯 Anforderungen

• 12–15+ years of experience in financial services • Deep expertise in broker-dealer operations and regulatory frameworks (FINRA, SEC, MSRB) • Proven success leading operational transformation and technology modernization. • Strong executive presence with ability to influence senior stakeholders • Strategic, data-driven decision maker with strong risk awareness • Excellent communication skills with ability to translate complex issues into clear insights • Demonstrated ability to build and lead high-performing teams • A bachelor’s degree is required. An MBA is highly desirable but not required. FINA registrations: Series 65 and 24 required; Series 27 preferred.

🏖️ Vorteile

• Health insurance • 401(k) matching • Flexible work hours • Paid time off • Professional development opportunities